NECESSITY, FUNCTION, AND CONFORMITY: KRS
314A.205(1) requires the board to investigate persons engaging in practices
which violate the provisions of KRS Chapter 314A. This administrative regulation
establishes the detailed procedures for the investigation of complaints
received by the board.

Section 1. Definitions. (1) "Chairperson" means the presiding
official of the board.

(2)
"Charge" means a specific allegation contained in a formal complaint
issued by the board alleging a violation of a specified provision of KRS
Chapter 314A or the administrative regulations promulgated thereunder.

(3)
"Complaint" means any written allegation alleging misconduct which
might constitute a violation of KRS Chapter 314A or the administrative
regulations promulgated thereunder by a certified individual or other person.

(4)
"Formal complaint" means a formal administrative pleading authorized
by the board which sets forth charges against a certified individual or other
person and commences a formal disciplinary proceeding.

(5)
"Hearing officer" means the person designated and given authority by
the board to preside over all proceedings pursuant to the issuance of any
formal complaint.

(6)
"Informal proceedings" means the proceedings instituted at any stage
of the disciplinary process with the intent of reaching an informal
dispensation of any matter without further recourse to formal disciplinary
procedures.

(7)
"Investigative assistant" means an appropriately-certified individual
designated by the board to assist the board’s attorney in the investigation of
a complaint or an investigator employed by the Attorney General or the board.

Section 2. Reception of Complaints. (1) A complaint
may be submitted by an individual, organization, or entity. A complaint shall
be in writing and shall be signed by the person offering the complaint. The
board may also file a complaint based on information in its possession.

(2) Upon receipt of a complaint a copy of the
complaint shall be sent to the board's attorney for an initial review and
preliminary recommendation of subsequent action to the board. A copy of the
complaint shall also be sent to the certified individual named in the complaint
along with a request for that individual's response to the complaint. The
response of the individual shall be required for the next regularly scheduled
meeting of the board except that the individual shall be allowed a period of
twenty (20) days from the date of receipt to make a response.

Section 3. Preliminary Recommendations and Initial
Board Review. (1) After the receipt of a complaint and the period for the
individual's response has concluded, the board shall consider the preliminary
recommendation of the board's attorney, the individual's response, and any
other relevant material available to the board in the initial review of the
complaint. The determination that the board makes at this point shall be
whether or not there is enough evidence to warrant a formal investigation.

(2) When in the opinion of the board a complaint
does not warrant the formal investigation of a complaint against an individual,
the board shall notify both the complaining party and the individual of the
outcome of the complaint.

(3) When in the opinion of the board a complaint
warrants the formal investigation of a complaint against either a certified
individual or a person who may be practicing respiratory care without
appropriate certification, the board shall authorize its attorney and a
designated investigative assistant to investigate the matter and report their
findings and recommendations to the board at their earliest opportunity.

Section 4. Results of Formal Investigation; Board
Decision on Hearing. (1) Upon completion of the formal investigation, the
board's attorney or the investigative assistant shall report to the board his
or her findings and recommendations as to the proper disposition of the
complaint. The determination that the board makes at this point shall be
whether or not there is enough evidence to believe that a violation of the law
or administrative regulations may have occurred and that a hearing should be
held.

(2) When in the opinion of the board a complaint
does not warrant the issuance of a formal complaint and the holding of a
hearing the complaint shall be dismissed or other appropriate action taken. The
board shall notify both the complaining party and the individual of the outcome
of the complaint.

(3) When in the opinion of the board a complaint
warrants the issuance of a formal complaint, the board shall cause a complaint
to be prepared stating clearly the charge or charges to be considered at the
hearing. The formal complaint shall be signed by the chairperson and served upon
the individual as required by KRS 13B.050.

(4) When in the opinion of the board a complaint
warrants the issuance of a formal complaint against a person who may be
practicing respiratory care without proper certification, the board shall cause
a formal complaint to be prepared and signed by the chairperson of the board,
stating the board's belief the charges are based upon reliable information. The
formal complaint shall be forwarded to the county attorney of the county of
residence of the person allegedly practicing respiratory care without
appropriate certification with a request that appropriate action be taken under
KRS 314A.990. The board may also initiate action in Franklin Circuit Court for
injunctive relief to stop the unauthorized practice of respiratory care.

Section 5. Settlement by Informal Proceedings;
Letter of Admonishment. (1) The board, through counsel may, at any time during
this process, enter into informal proceedings with the individual who is the
subject of the complaint for the purpose of appropriately dispensing with the
matter. Any agreed order or settlement reached through this process shall be
approved by the board and signed by the individual who is the subject of the complaint
and the chairperson of the board.

(2) The board may at any time during this process,
issue a letter of admonishment to the individual who is named in the complaint
as a means of resolving the complaint. This action may be taken if it is
determined by the board that this is an appropriate method of dispensing with
the complaint. The letter of admonishment shall be sent to the individual with
a copy placed in the individual's permanent file. A copy may also be sent to
the government agencies deemed appropriate by the board. Within thirty (30)
days of the date of the letter, the individual shall have the right to file a
written response to the letter and have it attached to the letter of
admonishment and placed in the permanent file. The individual shall also,
within thirty (30) days of the date of the letter, have the right to appeal the
letter of admonishment and be granted a full hearing on the complaint. If this
appeal is requested, the board shall immediately file a formal complaint in
regard to the matter and set a date for a hearing.